Classic Compliance Meets Conscious Compliance
“A must-read for compliance professionals. Eight strategies for success at every level with the added benefit of strengthening the culture and value of the compliance profession.”
LISA CROSSLEY, EXECUTIVE DIRECTOR,
THE NATIONAL SOCIETY OF COMPLIANCE PROFESSIONALS
Collectively, Compliance officers protect our economy by increasing market transparency and guarding customer interests. Individually,
they can stabilize, propel, or even enable the downfall of the organization that employs them. What power! Yet Compliance officers face a host of issues limiting their influence. There is a narrow perception of the value of Compliance to an organization, and a misunderstanding of the inherent conflicts of interest Compliance officers wrestle with daily.
Triple Bottom-Line Compliance shows youthe Compliance officerhow to deliver protection, productivity, and impact in your organization. It shares strategies for delivering a new type of Compliance system that not only defends and protects an organization, but also proactively helps it perform better.
A Compliance officer is not just protecting the organization and mitigating regulatory risk as a gatekeeper, but is also helping the organization realize its full valuewhether it’s measured in profitability, growth, stability, credibility, or fulfillment of its mission. In this book, author Beth Haddock will teach you how to focus on business interests, behavioral incentives, and the importance of relationships in order to both sustain and grow and your organization.
|Publisher:||Advantage Media Group|
|Product dimensions:||6.00(w) x 9.00(h) x (d)|
About the Author
BETH HADDOCK, CEO and founder of Warburton Advisers, provides governance and Compliance solutions to leading international corporations, technology companies, and non-profits, leveraging a counter-intuitive, positive approach that provides protection for her clients while inspiring employees and delivering bottom-line results.
With over two decades of experience with some of the world’s biggest financial services companiesAXA, Brown Brothers Harriman, and Guggenheim Investments
Beth works to promote governance delivering operational efficiencies, employee engagement, solid Compliance, and business ethics. She serves as trustee and corporate secretary of the Brooklyn Music School board, and is a FINRA arbitrator and an adjunct professor. Beth also frequently speaks at industry events such as the National
Society of Compliance Professionals, Regulatory Compliance Association, Social
Capital Markets Conference, and GAIMOps. For more information, please refer to www.warburtonadvisers.com.
Table of Contents
Introduction: Changing the Impact of Compliance 1
Chapter 1 Why It's Time for the End of Compliance 7
Chapter 2 Aligning the Mission for Sustainable Governance 21
Chapter 3 Verifying: I Spy and You Comply 31
Chapter 4 Managing Your Hydra 53
Chapter 5 Networking: Friends Don't Let Friends Get Blamed 65
Chapter 6 Building Alliances with the Lawyers 75
Chapter 7 Mastering Diplomacy to Build Sustainable Influence 83
Chapter 8 Being Your True North in Ethical Conflicts 97
Chapter 9 Contribute a Legacy! Brand Yourself 109
Resources and Further Reading 115
Appendix: Due Diligence Chart 118